Category: HR, Ethics & Compliance < $5 $5 - $7 $7 - $10 $10 - $20 $20 - $30 $30 - $40 $40 - $50 $50 - $100 $100 - $200 $200 - $300 $300 - $400 $400 - $500 $500 - $1000 $1000 - $2000 $2000 - $3000 > $3000 Brand: 360training.com (163) -Free Monthly Time Sheets -Free Business Cards -Free Invitation Cards
Item No.: 360T3fee973a87404bbb9a093a9f7e8dc7461a0b324b643849
Product Name: The SEC s Books and Records Requirements The Basics
Brand: 360training.com | UPC 8716221480845272682980566414621a0b324b643849e7833f
Condition: New Price: $ 30.00
HR, Ethics & Compliance > Banking & Financial Compliance > FINRA Compliance
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Product Description:
The SEC books and records regulations are primarily found as Rule 17 a-3 and Rule 17 a-4. Rule 17 a-3 describes what records must be created while Rule 17 a-4 defines maintenance and retention periods for these records.Â
